MH
Michael J. Healy
SEAMOUNT FINANCIAL GROUP
Tustin, CA 92780
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CRD#: 1091446
MH
Professional summary
Michael James Healy is a registered financial advisor currently at SEAMOUNT FINANCIAL GROUP INC located in Tustin, California and LPL FINANCIAL LLC located in Tustin, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1- 05/2025 - SFG Investments - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/01/2020- 160 hours per month/ during trading 2- 05/2025 - Seamount Financial Group - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 05/01/2020- 160 hours per month/ during trading - I provide investment advisory services through Seamount Financial Group, LLC, an independent investment advisor firm. I started this business activity in 05/2000. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Healy's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 28, 1999 - Present
SEAMOUNT FINANCIAL GROUP INC
Office #1: 17542 East 17th Street Suite 460, Tustin, CA 92780RIA
CRD#: 107834
Tustin, CA
Current
May 1, 2025 - Present
LPL FINANCIAL LLC
Office #1: 17542 East 17th Street Suite 460, Tustin, CA 92780RIA
BD
CRD#: 6413
TUSTIN, CA
Past
May 26, 2000 - May 1, 2025
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
Tustin, CA
Past
September 28, 1990 - June 6, 2000
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
SAN DIEGO, CA
Past
May 2, 1986 - September 24, 1990
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 16, 1984 - April 24, 1986
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
Past
January 19, 1983 - July 31, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
BD
CRD#: 76
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
Registered Investment Advisory firm - (4/6/1999 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2025)
RR
Arizona(5/1/2025)
IAR
California(6/28/1999)
RR
California(5/1/2025)
RR
Colorado(5/1/2025)
RR
District of Columbia(5/1/2025)
RR
Florida(5/5/2025)
RR
Hawaii(5/1/2025)
RR
Idaho(5/1/2025)
RR
Illinois(5/1/2025)
RR
Indiana(5/1/2025)
RR
Kansas(5/1/2025)
RR
Kentucky(5/1/2025)
RR
Minnesota(5/1/2025)
RR
Montana(5/1/2025)
RR
Nevada(5/1/2025)
RR
New Jersey(5/1/2025)
RR
New York(5/9/2025)
RR
North Carolina(5/1/2025)
RR
Ohio(5/1/2025)
RR
Oregon(5/1/2025)
RR
South Carolina(5/1/2025)
RR
Tennessee(5/1/2025)
IAR
Texas(7/30/2019)
RR
Texas(5/1/2025)
RR
Virginia(5/1/2025)
RR
Washington(5/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SEAMOUNT FINANCIAL GROUP INC
SEAMOUNT FINANCIAL GROUP INC
CRD#: 107834 / SEC#: 801-56412
RIA
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Contact information
Main Address
90 So Cascade Avenue Suite 970, Colorado Springs, CO 80903
Mailing Address
Phone number
(719) 471-1171
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,604 |
| AUM (Assets Under Management) | $ 665,191,281 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
